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Siebert Financial (SIEB) CEO details trust gifts and large indirect stake

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Siebert Financial Corp. insider filing shows changes in indirect ownership following family share gifts and a prior underreporting correction. The reporting person, identified as a director, CEO, 10% owner and member of a 10% owner group of Siebert Financial Corp. (SIEB), reports no directly owned common shares. A trust jointly owned with the reporting person’s spouse, the Gebbia Living Trust, gifted 140,000 shares of common stock to family members on January 20, 2026, reducing the reporting person’s indirect holdings through that trust to 9,833,494 shares. The filing also notes that the reporting person’s indirect ownership had previously been underreported by 403,780 shares tied to common stock underlying a warrant issued to BCW Securities LLC, which are now included. A family control group associated with the reporting person holds 17,074,103 shares in total after net gifts of 143,000 shares, with the reporting person disclaiming beneficial ownership of those control group shares except to the extent of any pecuniary interest.

Positive

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Negative

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Insider Gebbia John J
Role CEO
Type Security Shares Price Value
Gift Common Stock, $0.01 par value per share 140,000 $0.00 --
holding Common Stock, $0.01 par value per share -- -- --
holding Common Stock, $0.01 par value per share -- -- --
Holdings After Transaction: Common Stock, $0.01 par value per share — 9,833,494 shares (Indirect, See footnote); Common Stock, $0.01 par value per share — 0 shares (Direct)
Footnotes (1)
  1. The Reporting Person does not directly own any shares of Issuer common stock. The Reporting Person's indirect ownership of Issuer common stock was previously underreported by 403,780 shares. These shares represent shares of Issuer common stock underlying a warrant issued by the Reporting Person to BCW Securities LLC, a Delaware limited liability company on May 22, 2023, which were previously omitted from the Reporting Persons' beneficial ownership. The Reporting Person and the Reporting Person's husband, John J. Gebbia, jointly own the John J & Gloria E Gebbia TTEESS UAD 12/8/94 ("Gebbia Living Trust"). The Gebbia Living Trust gifted 140,000 shares of Issuer common stock to family members and subsequent transactions resulted in a net decrease of 140,000 shares of issuer common stock to the Reporting Person's indirect ownership. The Reporting Person indirectly owns 9,833,494 shares of Issuer common stock owned by the Gebbia Living Trust. The Reporting Person is part of a control group consisting of family members of the Reporting Person. Members of the control group gifted 143,000 shares of issuer common stock to family members and others included and not included within the control group, and subsequent transactions resulted in a net decrease of 143,000 shares of issuer common stock to the control group. The Reporting Person disclaims beneficial ownership of such shares of Issuer common stock, except to the extent of the Reporting Person's pecuniary interest therein.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Gebbia John J
(Last) (First) (Middle)
C/O SIEBERT FINANCIAL CORP.
653 COLLINS AVENUE
(Street)
MIAMI BEACH FL 33139
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SIEBERT FINANCIAL CORP [ SIEB ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) X Other (specify below)
CEO Member of 10% owner group
3. Date of Earliest Transaction (Month/Day/Year)
01/20/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.01 par value per share 0 D(1)
Common Stock, $0.01 par value per share 01/20/2026 G 140,000 D $0 9,833,494(2) I See footnote(3)
Common Stock, $0.01 par value per share 17,074,103(2) I Control Group(4)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. The Reporting Person does not directly own any shares of Issuer common stock.
2. The Reporting Person's indirect ownership of Issuer common stock was previously underreported by 403,780 shares. These shares represent shares of Issuer common stock underlying a warrant issued by the Reporting Person to BCW Securities LLC, a Delaware limited liability company on May 22, 2023, which were previously omitted from the Reporting Persons' beneficial ownership.
3. The Reporting Person and the Reporting Person's husband, John J. Gebbia, jointly own the John J & Gloria E Gebbia TTEESS UAD 12/8/94 ("Gebbia Living Trust"). The Gebbia Living Trust gifted 140,000 shares of Issuer common stock to family members and subsequent transactions resulted in a net decrease of 140,000 shares of issuer common stock to the Reporting Person's indirect ownership. The Reporting Person indirectly owns 9,833,494 shares of Issuer common stock owned by the Gebbia Living Trust.
4. The Reporting Person is part of a control group consisting of family members of the Reporting Person. Members of the control group gifted 143,000 shares of issuer common stock to family members and others included and not included within the control group, and subsequent transactions resulted in a net decrease of 143,000 shares of issuer common stock to the control group. The Reporting Person disclaims beneficial ownership of such shares of Issuer common stock, except to the extent of the Reporting Person's pecuniary interest therein.
/s/ John J. Gebbia 01/22/2026
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did SIEB report on January 20, 2026?

The filing reports a Code G (gift) transaction where 140,000 shares of Siebert Financial Corp. common stock were gifted by the Gebbia Living Trust to family members. This reduced the reporting person’s indirect ownership through that trust by 140,000 shares.

How many Siebert Financial (SIEB) shares does the reporting person now indirectly own?

After the reported transactions, the reporting person indirectly owns 9,833,494 shares of Siebert Financial Corp. common stock through the Gebbia Living Trust, as stated in the filing.

Does the Siebert Financial (SIEB) insider own any shares directly?

No. The filing states that the reporting person does not directly own any shares of Siebert Financial Corp. common stock; all reported holdings are indirect through a trust or a family control group.

What prior underreporting of SIEB shares does this Form 4 correct?

The filing explains that the reporting person’s indirect ownership was previously underreported by 403,780 shares. These represent common shares underlying a warrant issued to BCW Securities LLC on May 22, 2023, which had been omitted from earlier beneficial ownership figures.

What is the family control group’s stake in Siebert Financial (SIEB)?

The filing notes that a family control group associated with the reporting person indirectly holds 17,074,103 shares of Siebert Financial Corp. common stock. Members of this group gifted 143,000 shares, resulting in a net decrease of that amount for the group.

Does the insider fully claim beneficial ownership of the control group’s SIEB shares?

No. The filing states that the reporting person is part of a family control group but disclaims beneficial ownership of the control group’s shares, except to the extent of any pecuniary interest in those shares.

What roles does the reporting person hold at Siebert Financial (SIEB)?

The reporting person is identified as a director, CEO, 10% owner, and a member of a 10% owner group of Siebert Financial Corp., according to the relationship section of the filing.